compliance - Smartria

October 25, 2021

Published by Mark Cunha

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Alert: NASAA Annual Enforcement Report Released

The North American Securities Administrators Association (NASAA) published its annual enforcement report on Sept. 29. In the report, state securities regulators conducted an increasing number of investigations and enforcement actions related to […]

October 4, 2021

Published by Mark Cunha

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SmartRIA Gets an Elegant New Look and Feel

SmartRIA’s development team has been working for months on refreshing the look and feel of our software. These changes make using the software a more pleasant experience, and the branding is also […]

October 1, 2021

Published by Mark Cunha

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SEC Scrutinizing RIAs on 12b-1 Fees, Revenue Sharing, and Wrap Fees

The SEC recently took enforcement actions against three Registered Investment Advisers (RIAs) that breached their fiduciary duty to advisory clients. In particular, the SEC took disciplinary action against RIAs over issues related […]

September 2, 2021

Published by Mark Cunha

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How to Train Your Team on New RIA Compliance Tech

Bringing on new tech for RIA compliance can be a major undertaking on top of handling the constantly-updated compliance regulations a firm must navigate. Usually any new tech is software of some […]

August 21, 2021

Published by Mark Cunha

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SEC Findings: Wrap Fee Initiative

The SEC has been watching wrap fee programs for quite a while. From 2017-19, the SEC’s annual examination priorities named wrap fee programs as putting investors at risk. The SEC’s Division of […]

March 9, 2021

Published by Mark Cunha

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2021 SEC Exam Priorities

On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners […]

August 10, 2020

Published by Mark Cunha

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Compliance in the Age of Pandemics

The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance. Many regulatory deadlines and […]

August 4, 2020

Published by Mark Cunha

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5 Ways to Proactively Prepare for an Audit

An upcoming audit often causes sleepless nights for even the most capable professionals. With an increase of SEC exams, it’s not a question of if your firm will be audited but when. […]

July 28, 2020

Published by Mark Cunha

Categories

Why You Should Invest in Compliance Software

Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software […]

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